William G. Heffron
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William George Heffron was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 6 firms and has passed the Series 63, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2010 - April 8, 2010
NATIONAL SECURITIES CORPORATION
February 12, 2009 - January 12, 2010
FIRST ALLIED SECURITIES, INC.
August 21, 2002 - December 31, 2008
1ST DISCOUNT BROKERAGE, INC.
January 15, 2000 - August 21, 2002
ACUMENT SECURITIES, INC.
February 17, 1987 - November 19, 1999
YANKEE FINANCIAL GROUP, INC.
December 1, 1980 - July 9, 1986
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
